Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 756
B: 45

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Date Received
Date Letter Type Commenter Name
Public Comment Walter Olshanski
Public Comment Walter Scott
Public Comment Kathy Northrop
Public Comment Michael Garcia
Public Comment Richard A. Gurdjian
Public Comment Leonard M. Bakal, Vice President and Compliance Director, Metropolitan Life Insurance Company
Public Comment Minnie Whitmire, Registrations Supervisor, Raymond James & Associates, Inc.
Public Comment John Polanin, Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association
Public Comment Christopher Shaw, Vice President & Acting Chief Compliance Officer, Transamerica Financial Advisors, Inc.
Public Comment Mario DiTrapani, President, Association of Registration Management
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.
Public Comment Thomas R. Moriarty, President, InterSecurities, Inc.
Public Comment John Gilner, Vice President; Henry H. Hopkins, Vice President; Sarah McCafferty, Vice President, T. Rowe Price Investment Services, Inc.
Public Comment Stephen A. Batman, CEO, 1st Global Inc.
Public Comment Carl B. Wilkerson, Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Paul B. Uhlenhop, Lawrence, Kamin, Saunders & Uhlenhop, L.L.C.
Public Comment George Nelson Ridings, ChFC CLU

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-104
Release Number
34-48897
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